HANDBOOK
No. 09-22
Mar 09
Commander’s
Guide to
Operational Records
and Data Collection
Tactics, Techniques, and Procedures
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Foreword
The Center of Military History (CMH), Records Management and Declassification Agency
(RMDA), and Center for Army Lessons Learned (CALL) are all repositories for a unit’s
operational records and data. They have jointly prepared this handbook to provide the
commander clear guidance pertaining to the preservation and disposition of his unit’s
important operational records and data.
Your role as the commander of your unit is simple to comprehend but difficult to achieve.
Primarily, it is a matter of your personal interest. The commander’s priorities become the
unit’s priorities, and the unit does only those things the commander inspects and believes
are important. If you insist that the records and operational data sources are maintained,
preserved, and retired appropriately, they probably will be. Have you set up a staff standing
operating procedure to make sure that happens? Is there one person on your staff whose
additional, specified duty is to ensure that the records are kept and retired? If so, you are
halfway there. This is not just a “make-work” administrative chore; it is essential to the
long-term preservation of your unit's history, part of your responsibility to take care of your
Soldiers, and required by law and regulation.
After establishing the need to keep operational records, you must set the procedures in
place to do it regularly (and inspect to ensure it is done regularly). This handbook is
designed to give you some handy checklists of exactly what types of records CMH,
RMDA, and CALL need; how to preserve your records for yourself and for these
collectors; and what to expect when these collectors show up at your tactical operations
center.
In short, the purpose of this publication is to assist you in understanding the importance of
your operational data and records; the critical need to preserve these records to protect your
Soldiers, improve doctrine, and capture your unit history for all time; and your role in
making this happen.
Dr. Jeffrey J. Clarke
Director
U.S. Army Center of Military History
Approved for Public Release
Distribution Unlimited
i
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Commander's Guide to Operational Records and Data Collection
Table of Contents
Chapter 1. General Information
1
Chapter 2. Center of Military History, Unit Historical Documents and
Programs: Preserving Your Unit’s History
3
Chapter 3. Records Management and Declassification Agency:
Documenting Operations and Ensuring Official Records are Captured
and Preserved
9
Chapter 4. Center for Army Lessons Learned: Collection Priorities
13
Appendix A. Additional Records Management Information
23
Appendix B. After-Action Review Template
37
Appendix C. Useful References
41
Center for Army Lessons Learned
Director
Colonel Robert W. Forrester
CALL Analyst
Mark Schiller
Production Coordinator
Valerie Tystad
Editor
Mandy Earles
Graphic Artist
Eric Eck
Distribution Manager
Candice Miller
The Secretary of the Army has determined that the publication of this periodical is
necessary in the transaction of the public business as required by law of the
Department.
Unless otherwise stated, whenever the masculine or feminine gender is used, both
are intended.
Note: Any publications (other than CALL publications) referenced in this product,
such as ARs, FMs, and TMs, must be obtained through your pinpoint distribution
system.
Approved for Public Release
Distribution Unlimited
iii
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Chapter 1
General Information
“There is history in all men’s lives.”
—William Shakespeare
Why a Commander’s Guide for Data and Records Collection?
It is March 1991, and the scene is the oil-smoke covered battlefield in Kuwait.
Victorious troops of a multi-national coalition, led by the U.S., have just driven the
much-vaunted Iraqi Army out of Kuwait, capturing more than 60,000 Iraqi soldiers
and killing countless others. Spread over a several hundred mile front, more than
600,000 U.S. troops halted with the declaration of a cease fire on the last day of
February. Other troops began “policing up” the battlefield by clearing mines,
detonating piles of abandoned artillery shells, and gathering more prisoners. The
choking oil fumes got on everyone’s skin and in everyone’s lungs. Enemy tanks,
destroyed by the powerful depleted uranium rounds of the Army’s M-1 Abrams
tank, smoldered in the distance. Thousands of troops, all of whom had received a
wide variety of anti-chemical warfare and anti-biological warfare vaccines, moved
over the battlefield inspecting the destroyed tanks and breathing in oil fumes, as
piles of captured enemy munitions were detonated in the distance. The stress of
battle and the stench of human death and suffering affected everyone.
Within months of the end of Operation Desert Storm (ODS), hundreds of veterans
began reporting unusual medical symptoms. Severe fatigue, skin diseases, trouble
breathing, weight loss, trouble sleeping, and severe stress were just a few of the
symptoms of a disease some began calling Gulf War Syndrome. When the Army
began investigating this rash of symptoms, its first thought was to try and establish
a pattern of those affected: What units were they in? Where were they located?
What operations were they engaged in? The answers provided by investigators
were: “We don’t know. We didn’t keep our records.” It took many millions of
dollars and thousands of man-hours to reconstruct the locations and operations of
U.S. units engaged in ODS. Thousands of veterans and active duty Soldiers faced
an uphill struggle in proving they were anywhere near combat operations or even in
the theater at all.
Regardless of the degree of validity of all of the Gulf War Syndrome claimants (an
issue still under investigation by the Veteran’s Administration), the fact remains
that the Army failed to take care of its Soldiers by preserving records of those
combat operations for the future. Units in World War II maintained such records,
even during the intense combat of the Battle of the Bulge. Units on the verge of
being overrun by the Chinese in Korea in the winter of 1950 kept unit journals, war
diaries, staff action journals, operations reports, and intelligence summaries. Yet in
today’s military, despite the ready availability of high speed computers, e-mail,
sophisticated word processing programs, portable digital storage devices, data base
programs, and visually stunning graphics presentations, units often fail to preserve
a record of what they were doing, where they were doing it, and when. They throw
away their histories with the push of a button or with the whir of a shredder.
Approved for Public Release
Distribution Unlimited
1
CENTER FOR ARMY LESSONS LEARNED
Preserving unit records:
• Is a commander’s mission.
• Adds to the unit’s history.
• Takes care of the Soldier now and in the future.
Three Reasons to Save Your Records
The seemingly simple act of preserving such basic operational documents as
briefings, message logs, staff journals, after-action reviews, situation reviews, and
other records serves a variety of purposes. It is relatively simple to save hard drives,
back-up hard drives, and create compact discs (CDs) and digital versatile discs
(DVDs), all of which can store huge amounts of data in limited space. All it takes is
for commanders to make saving operational data a priority.
Reason 1: When the unit retains a clear record of what missions it accomplished
and when and where it accomplished the missions, higher-level units can review
these past operations to recommend commendations (such as for Presidential Unit
Citations or Valorous Unit Awards) or assign blame (attacking the wrong target or
causing excess civilian casualties).
Reason 2: The Army has developed a methodology and a system that captures,
processes, and disseminates lessons learned throughout the force. Beginning at the
Soldier-level and culminating in the Center for Army Lessons Learned (CALL), the
capture of key events and lessons is critical to survival and success on the modern
battlefield. Capturing lessons learned requires the regular and accurate collection of
unit operational data.
Reason 3: A unit’s history is part of the U.S. Army in action—the story of its
Soldiers during over two centuries of defending the nation. It is a vital link in an
unbroken chain that binds the unit to the Nation. That history is only preserved
when a unit keeps its records and retires them appropriately. Without records, a
unit’s history is just a collection of stories that may or may not be true, but which
will probably not be preserved as part of the Army’s heritage and history.
This guide focuses on the following Army organizations and their roles in record
and data collection:
• Center of Military History
• Records Management and Declassification Agency
• CALL
2
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Chapter 2
Center of Military History, Unit Historical Documents and
Programs: Preserving Your Unit’s History
“History teaches us everything including the future.”
—Lamartine
Collecting historical documents and using them as part of an active unit historical
program can benefit a unit in many ways. Not only does the unit keep a detailed
record of its accomplishments, but it also will have the documentary evidence
necessary to draft unit award recommendations. Unit historical collections also can
provide source material for published accounts of the unit’s Soldiers in combat that
can appear in a variety of publications including Soldiers Magazine, Army
Magazine, and Military Review. The noteworthy achievements of many Soldiers
and units have never become widely known, in part, because units did not
document their actions.
Without documents, there is no real proof of what happened. Commanders have a
central role—perhaps the most important role—in overseeing the collection of unit
historical data. They alone have the authority to designate a unit historian as an
extra duty so that one individual is the central point of contact in the unit for unit
history. Commanders also provide their staffs and subordinates with the task,
conditions, and standards for unit records and historical programs. Through their
continued command emphasis, they can document their unit’s achievements and
make them a useful source of unit pride and morale.
Key Historical Documents
The first step commanders must take is to ensure that key documents are collected
and preserved by their staffs and their subordinate assigned and attached units.
History produced by the Army relies heavily on documented events rather than
personal experiences or memoirs, so it is critical that key documents are preserved.
Unit historical narratives can capture the details and significance of key combat
actions, but they can only do this if the unit keeps documents that reflect those
events. Some of these documents list the names of Soldiers involved in operations,
show the various intelligence reports used in a mission, and highlight both the
planning and execution of military actions. These documents form the basis for a
detailed historical narrative of events. A unit historian can also collect and use
documents to keep a running chronology of his unit’s operations. These
chronologies will assist the unit historian in writing a more detailed narrative after
his unit returns to home station. The unit chronology should be updated on a regular
basis and include information about what the unit’s headquarters is doing and the
missions and accomplishments of subordinate elements.
Useful documents for historical collection
Unit historians and visiting military history detachments from higher headquarters
can make use of a wide variety of personnel, administrative, intelligence, logistical,
and operational documentation to compile a detailed narrative.
Approved for Public Release
Distribution Unlimited
3
CENTER FOR ARMY LESSONS LEARNED
These key documents include but are not limited to the following:
• Command group:
º “Personal for” memorandums
º Very important person briefings
º Commander’s initiative group actions
º Staff meeting notes
• Personnel:
º By name unit rosters
º Individual valor award recommendations (with attached witness
statements)
º Unit award recommendations (complete packet)
º Strength reports
º Casualty reports
º Command and staff listings
º Congressional inquiries and visits
• Intelligence:
º Graphic intelligence summaries
º Daily intelligence summaries
º Tactical human intelligence team reports
º Special intelligence assessments
º Terrain analysis
º Enemy order of battle and personalities reports
º Battle damage assessments
• Operations:
º Battle update briefings
º Battle update assessments
º After-action reviews (AARs)
º Operational lessons learned
4
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
º Operations orders (OPORDS) (higher and lower headquarters)
º Fragmentary orders (FRAGOS) (higher and lower headquarters)
º Targeting lists and other fires related material
º Operational plans
º Daily/weekly/monthly situation reports (SITREPs)
º Commanders concerns
º Memorandums of instruction
• Logistics:
º Equipment status reports and operational readiness rates
º Supply expenditures
º Fielding of new equipment
º Battle loss or damage of major end items
• Civil affairs:
º Local personalities
º Urban assessments
º Area reports and surveys
º Civil-military operations recurring reports and SITREPS
• Coalition forces:
º Multinational training reports
º Multinational biographical sketches
º Coalition operational status reports
º Coalition equipment and logistics updates
º Unit rosters
Although many of these documents may not be directly referenced in historical
narratives prepared in a unit or in support of a unit award, they will serve as
extremely informative supporting attachments for future historians as they
undertake writing the official history of a campaign or operation. They will also
accomplish the additional Headquarters, Department of the Army requirement of
saving and retiring a unit’s official files and records.
Approved for Public Release
Distribution Unlimited
5
CENTER FOR ARMY LESSONS LEARNED
Unit Historical Programs
Unit historical programs can consist of measures to create historical narratives,
collect operational/administrative reports and records, or a blend of both
approaches. Deployed units that have produced solid narrative histories in the
Global War on Terrorism include the 3rd Infantry Division during the attack to
Baghdad in 2003 and the 2nd Brigade Combat Teams of the 10th Mountain and
25th Infantry Divisions in 2004.
These narrative accounts are very important for a number of reasons. First, the
accounts generated at the time by the units themselves are often more accurate and
useful than later accounts prepared from memory. Second, commanders and their
staffs have intimate knowledge of operations and actions far beyond what is
reflected in their briefings and documents. To leave more flexibility for subordinate
commanders, some of the key documents, such as OPORDS and FRAGOS, are
short and succinct and leave out many implementing and other important details.
But a unit narrative history or even just a thorough AAR prepared soon after the
event will capture those details while they are fresh and will serve as the basis for
future historical reports, studies, and books.
Military History Detachments
Many divisions and brigades will have military history detachments (MHD) with
the mission of collecting historical material assigned to them or their higher
headquarters. This situation does not relieve unit commanders from keeping their
own documents and writing their own AARs, but MHDs can assist in the process of
capturing history as it is being made. It is in the long-term best interests of the unit
commander to assist the MHD whenever he can.
MHDs are small units consisting of a unit commander (major or captain), a
noncommissioned officer (NCO), and an enlisted Soldier with the mission of
collecting copies of historical documents; photographs; oral history interviews; and
sometimes, museum artifacts. They try to gather as much historical data as they
can, but given their small size and the large size of the battlefield, they cannot
collect everything. That is why a regular unit record and document retention and
retirement program is so important. MHDs will show up on occasion and gather
copies (not the originals) of your historical documents to help future historians
write about the unit. They are trained to assist the commander by collecting
documents quickly without interfering in unit operations. MHD personnel also
conduct oral history interviews with key personnel—especially those involved in
planning or executing combat operations—to focus on capturing specific events.
Commanders should help the MHD talk to the right people and gather copies of the
right documents.
Unit Historians
Deployed MHDs do not have the resources or time needed to cover a large
organization in comprehensive fashion. Nor do MHDs create finished products such
as a narrative unit history. They are collectors. Therefore, it is in the interest of
deployed units to designate a commissioned officer or qualified NCO (preferably
with some college-level training or interest in history) to serve as the unit historian
as an extra duty. Unit historians should be selected well in advance of the unit
deployment date so they can begin preparing to capture the deployment of a unit
while it is happening and not spend their time playing “catch up” later.
6
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Unit historians should be selected at all levels of command starting at division level
and going down to the brigade-, battalion-, and if appropriate, separate
company-level. The unit historian from one level feeds reports and information to
the unit historian at the next highest level, while keeping unit-specific documents
and reports at his location. Unit historians can even begin to compile a rough unit
chronology while assisting visiting military historians and MHDs. Although the
position of unit historian is an extra duty of the individual selected, it is an
important position critical to the success of any unit history program.
Unit historians are normally members of the division, brigade, or battalion staff;
although, separate detachments and subordinate companies who lack a staff can
also appoint a unit historian. Unit historians working with the staffs and
headquarters of organic and attached units compile unit narratives and submit them
along with supporting historical material to their next higher headquarters up to
division. Divisions normally do not submit historical material to higher
headquarters but retain reports and records when they redeploy to home station.
Unit Histories
Units approach the task of preparing unit histories in many different ways
depending on the preferences of the commanders. While recently, historical officers
in several divisions (such as the 1st and 42nd Infantry Divisions) have concentrated
their efforts on organizing documentary material submitted by subordinate
elements, the 101st Airborne Division’s historical officer in Operation Iraqi
Freedom I took the process one step farther by combining that material into a
division-level written narrative. Either way, a quality product or collection of key
documents will require sustained command emphasis at all levels. Only with
command emphasis will unit historians and staff elements of that unit and
subordinate assigned or attached units cooperate to ensure that they preserve the
documents necessary to produce complete and accurate account of a unit’s
accomplishments.
Command emphasis encourages the production of written narratives or AARs but
also ensures unit historians or MHDs (when attached or visiting) are accorded full
access to operationally relevant documents, key leaders, coalition partners, and
individual Soldiers who may have had a significant role in a particular engagement.
Leaders at all levels must maintain interest in historical reports by being personally
involved at all levels and inspecting brigade-,battalion-,and separate company-level
historical reports, historical officer updates, quarterly historical in-process reviews,
and AARs after combat missions. As the commander, the history of your unit and
the story of your unit’s accomplishments depend on your involvement.
Approved for Public Release
Distribution Unlimited
7
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Chapter 3
Records Management and Declassification Agency: Documenting
Operations and Ensuring Official Records are Captured and
Preserved
“It is not deeds or acts that last: it is the written record of those deeds and
acts.”
—Elbert Hubbard
The Importance of Preserving Records
This handbook highlights the importance of collecting and preserving your unit
data to ensure an accurate accounting of your unit’s actions during a contingency
operation. What information is preserved will dictate what history says about your
unit and will also allow the Army to capture lessons learned; however, there is also
a need (and legal requirement) to ensure the rights and interests of Soldiers,
civilians, and the Army are protected. Capturing and preserving your official
records ensure veterans and agencies providing benefits (Veteran’s Administration,
insurance companies, etc.) can verify and validate claims for benefits. This, in most
cases, happens long after the mission is over. A veteran can be left without critical
care or compensation if there is no recorded proof to validate his claim and the
service and/or circumstances surrounding that claim.
Records Management and Declassification Agency (RMDA) Receives the
Official Copy
The Center of Military History (CMH), Center for Army Lessons Learned (CALL),
and RMDA require similar records to accomplish their respective missions. The
main difference is that RMDA’s focus is on ensuring the “official record” is placed
into the Army’s recordkeeping system. As a commander, you have a legal
responsibility to properly document your unit’s operations. There are federal
statutes (36 Code of Federal Regulation; Chapter XII, Parts 1200-1299; and 44
United States Code 3301-3314) and Army policy (Army Regulation [AR] 25-1 and
AR 25-400-2) that require the proper documentation of the functions and operations
the Army performs. This documentation is extremely critical during a contingency
operation. The official record copy of any document should be placed in the
Army’s recordkeeping system to ensure preservation through that records
life-cycle. In the case of contingency operation records, most have permanent
dispositions and should eventually end up in the National Archives where
historians, researchers, and family members of veterans can access the information.
During your deployment, CALL, CMH, and other agencies that deploy will be
asking for your records. You should provide these agencies with copies of the
documents, not the official record and, certainly, not the only existing copy. RMDA
does not deploy, and the responsibility for the official record belongs to the
commander.
RMDA’s Directives and Guiding Documents
RMDA has been distributing directives and guidance documents concerning
operational recordkeeping since the beginning of Operation Enduring Freedom in
2002. The two most important guides are Department of the Army Pamphlet (DA
Approved for Public Release
Distribution Unlimited
9
CENTER FOR ARMY LESSONS LEARNED
Pam) 25-403, Chapter 12, and the RMDA, “Quick Reference Guide to
Documenting Operations for Deployed Units of the Army.” Chapter 12 of the DA
Pam focuses on operational records in theater and provides guidance on setting up a
process for collecting and preserving operational records. The quick reference
guide tells a Soldier what he should keep and where he should send it. It includes
instruction for both hard-copy and electronic records. (See a copy of the quick
reference guide and Chapter 12 of the DA Pam in Appendix A.)
Procedures for Sending Documents to RMDA
Army policy requires Army users be registered in the Army Records Information
Management System (ARIMS) (<www.arims.army.mil>) and use the system to
send electronic records or transfer/ship hardcopy records. There are policies and
guidance on how to properly ship/transmit your records in the ARIMS; however,
this practice may not always be possible or practical in a war zone. However, you
can still capture and preserve your unit's records. At the very least, send the records
you collect to your home station where the local records officers can further process
them.
A detailed organization and index of your records will make it easier to find
specific records later. Make sure records contain the following:
• Operation/location
• Date
• Unit
• Type of records (incident report, daily journal, etc.)
Hardcopy records
Hardcopy records should be boxed and organized and should never be shipped
without some kind of transmittal document, such as a Standard Form 135 or a typed
or handwritten piece of paper with an inventory of what is in the box. This
inventory provides the people on the receiving end something to work with and
allows them to further process the records. It gives you, as the commander, a receipt
for what you have shipped.
You should never allow Soldiers to throw paper, electronic media, or other
hardcopy information into a box and send it without some level of organization. It
is almost impossible even for an experienced records manager to sort through this
material when he knows nothing about the operation or the context under which the
unit created the records.
Electronic records
Technology is a double-edged sword in terms of records management. Near real
time data can be transmitted anywhere, orders can be transmitted or posted, and
journals can be kept and shared electronically. However, there is a dark side to all
technology; it is all too easy to hit that delete key or wipe clean hard-drives or file
servers and lose information—along with a part of the Army’s history—forever.
Losing this information makes it difficult to create lessons learned and protect the
rights and interests of your Soldiers.
10
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Copy your electronic records to approved removable media and send that media to
your home station. If your unit posts fragmentary or operations orders (OPORDS)
on tactical Websites, make a “record copy” before these orders are removed. When
your unit redeploys, make a “record copy” of all records on hard drives or servers
before they are wiped clean for the replacement unit. Label the media and organize
it in the same way you organize hardcopy documents.
Top Ten
The quick reference guide lists approximately 60 record types that units should
create and preserve during a contingency operation. However, the following 10
types could most affect the rights and interests of your Soldiers:
Functional Area
File #
Description
Operations
220-15a1
Daily staff journal and
tactical operations center log
with coordinates of locations
and events
Operations
525a1
Command reports, special
reports, maps and overlays,
and incident reports
525n1
Operation planning files;
operating plans (including
audio/videotapes of
teleconferences)
Operations
525p1
Operation procedure files;
OPORDS (including
audio/videotapes of
teleconferences)
Office Housekeeping
1hh
Office temporary duty
(TDY) travel (civilian TDY
orders)
Nuclear/Chemical
50-5a1
Nuclear accident/incident
controls
Weapons/Material
50-6b1
Chemical accident/incident
controls
Safety
385-10f2
Accident/incident case files
(including nuclear,
chemical, and biological
exposure)
Military Police
190-45b2, 3
Military police journals
(blotters)
Operations
Approved for Public Release
Distribution Unlimited
11
CENTER FOR ARMY LESSONS LEARNED
No More “Radar O’Reilly’s”
Historically, recordkeeping was left to clerks and records officers trained in the
records management field. However, the new Army has all but done away with the
administrative military occupational specialties. There are no more “Radar
O’Reilly’s” to do everything in triplicate and maintain a unit’s files. Consequently,
the responsibility of this very important undertaking has been shifted to
commanders and action officers as “another duty as assigned.” It requires
preplanning and establishing procedures to minimize the burden on you as the
commander and your Soldiers in the field.
12
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Chapter 4
Center for Army Lessons Learned: Collection Priorities
“You must learn from the mistakes of others. You can’t possibly live long
enough to make them all yourself.”
—Sam Levenson
Center for Army Lessons Learned (CALL) collects, analyzes, disseminates,
integrates, and archives Army and joint, interagency, intergovernmental, and
multinational (JIIM) observations, insights, lessons (OIL) and tactics, techniques,
and procedures (TTP) to support full-spectrum military operations. One of the most
important operative tasks in CALL’s mission statement is collection. Collection of
the latest OIL and TTP and their subsequent integration into the operational and
institutional Army helps units and Soldiers meet the serious challenges posed by
today’s operating environment. CALL collects OIL, TTP, and operational products
and records from the field primarily through five methods:
• OIL from the operational Army
• After-action reviews (AARs)
• CALL theater operation detachments (TODs)
• CALL collection and analysis teams (CAATs)
• Operational products and records submitted from the operational Army
Observations, Insights, and Lessons
Commanders’ responsibilities
Commanders and staffs at all echelons have a responsibility to send relevant
collected OIL and other documentary materials to CALL to capture lessons learned
products for dissemination to the Army.
OIL definition
Observations, insights, and lessons are information from any source that explains
the conditions experienced by military forces during war or training, the issues that
arose during those operations or exercises, and the potential solutions to the
problems military forces experienced. Examples of OIL include AARs, unit TTP,
interviews with Soldiers, incident reports, and most CALL-distributed products.
Observations describe the conditions experienced by military forces during war or
training. Example: “The daily average temperature in Iraq country was 110 degrees,
and it had a negative effect on troops and equipment.”
Insights describe the issues that arose while conducting military operations or
training. Example: “Due to the extreme heat experienced in Iraq, the (insert piece of
equipment) failed to operate properly.”
Approved for Public Release
Distribution Unlimited
13
CENTER FOR ARMY LESSONS LEARNED
Lessons provide potential solutions to the problems experienced under set military
conditions (for example, extreme heat). Example: “By doing ... X, ... our equipment
continued to work despite the extreme heat.”
Observations, insights, and lessons are not lessons learned because they have not
been validated by the Army’s assigned proponents, and there is no assurance an
actual change in behavior will occur.
Lessons Learned
Lessons learned definition
CALL defines lessons learned as “validated knowledge and experience derived
from observations and the historical study of military training, exercises, and
combat operations that lead to a change in behavior at either the tactical (standing
operating procedures [SOP]), TTP, etc.), operational, or strategic level or in one or
more of the Army’s DOTMLPF (doctrine, organization, training, materiel,
leadership and education, personnel, and facilities) domains.”
The lessons learned process (LLP) is a deliberate and systematic process for
collecting and analyzing field data and disseminating, integrating, and archiving
OIL collected from Army operations and training events. OIL do not constitute
lessons learned without changing individual, unit, or Army behavior.
Lessons learned collection process
Units should collect OIL, tactics, TTP, AARs, and other operational and training
documentation from relevant sources and forward them to CALL. The sources
include but are not limited to the following:
• Combat operations and exercises
• National Training Center, Joint Multinational Readiness Center, Joint
Readiness Training Center, Battle Command Training Program, and other
training center observations
• Joint and combined operations and exercises
• Historical analyses
• Simulations, war games, and staff studies
• Military observation teams
• DOTMLPF tests, evaluations, and experiments
• Modeling and simulation
• Army transformation initiatives
• Military response to natural disasters
• Terrorist incidents
14
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Through both formal and informal means, units conduct collection activities,
assessments, and AARs as a basis for forwarding relevant OIL to CALL for
subsequent dissemination throughout the Army. At a minimum, observers should
identify the task, describe the event, and highlight facts and data to corroborate the
OIL. There are two methods of collection:
• Formal (direct or active) collection is conducted by subject matter experts
during operations and exercises. These teams use a prepared and
approved collection plan to focus and prioritize efforts. They document
and organize, collect operational records and AARs, and provide
feedback to the units they are observing.
• Informal (indirect or passive) collection is conducted when units or
individuals submit post–operation/–exercises/–training rotation AARs
and other operational documentation to CALL. From these reports and
other documentation, CALL extracts OIL for analysis, dissemination, and
archiving.
Sending OIL to CALL
Commanders and staffs at all echelons have a responsibility to submit their
collected OIL to CALL. CALL is responsible for disseminating this information to
the Army through its Website and products. Units and organizations are encouraged
to follow the submission guidelines posted on the CALL Non-Secure Internet
Protocol Router Network (NIPRNET) and Secret Internet Protocol Router Network
(SIPRNET) Websites (See Figure 4-1) to submit OIL, either electronically or in
hard copy digital format (that is, electronically stored/burned onto a compact
disc–read only memory [CD–ROM]).
CALL desires the following minimum information requirements for observations:
• Administrative information, such as unit point of contact information,
exercise or operation, branch of service, component, general dates, and
locations
• Observation title
• Observation and relevant background information that include items
relevant to the problem
• Insight (What happened? Under what conditions? How was the unit or its
mission affected and why?)
• Lesson you think should be learned
Approved for Public Release
Distribution Unlimited
15
CENTER FOR ARMY LESSONS LEARNED
The After-Action Review
Army Regulation 11-33, (Army Lessons Learned Program) directs assigned units,
brigade-size or larger to submit unit-level AARs and other lesson learned material
to CALL for review, analysis, dissemination, and archiving in accordance with the
following general guidelines:
• Units participating in an Army, joint, or combined military operation will
submit AARs to CALL no later than 90 days after returning to home
station.
• Units participating in an Army, joint, or combined military exercise or
experiment will submit AARs to CALL no later than 60 days after
returning to home station.
• Units completing combat training center (CTC) rotations, are highly
encouraged to submit a copy of the relevant portions of their “take home
package” to CALL.
• AAR submission guidelines are posted on both the CALL NIPRNET and
SIPRNET sites. See the NIPRNET example in Figure 4-1. Units can
submit AARs electronically or in a hard copy digital format (that is,
electronically stored/burned onto a CD–ROM).
Figure 4-1
Writing the After-Action Review
CALL developed an AAR Report Template (See Appendix B) for units to use to
prepare final, comprehensive reports documenting recent operations. Its design is
based on extensive institutional experience of what makes an outstanding AAR.
16
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Commanders are encouraged to include the following key information in their
AARs.
• Commander’s executive summary
• Task organization to include attached units
• Chronology of key events
• Number of Soldiers deployed
• Summary of casualties during deployment
• Discussion of each phase in the deployment cycle
• Participation in major operations
• Discussion of stability operations
Theater Observation Detachment (TOD)
CALL maintains embedded collectors, normally majors or lieutenant colonels
called TODs, in designated operational units. CALL uses both internal personnel
and external volunteers to fill embed positions. Embedded volunteers include
officers from both the active and reserve components to include the Army Reserve
and National Guard, CTCs, branch proponents, and training support divisions.
External commands support the embed program to improve predeployment training,
validate the implementation of the operating environment into training and mission
rehearsal exercises, and validate post-mobilization training. TODs integrate
themselves into a unit’s operations and simultaneously serve as an advocate for
CALL. Figure 4-2 depicts the TOD’s role as a liaison between the field units and
CALL. Other key tasks the TOD performs are:
• Collecting TTP and OIL in accordance with collection plans.
• Sharing observations, lessons learned, and TTP with other in-theater
TODs and CALL for rapid dissemination.
• Giving supported command and CALL visibility on emerging issues.
• Acting on requests for information.
• Assisting CAATs in country and CAAT collection.
• Providing reach-back for in-country units.
Approved for Public Release
Distribution Unlimited
17
CENTER FOR ARMY LESSONS LEARNED
Improvised Explosive Device
Ambush
Checkpoint
Unit
conducts tactical operation; conducts AAR;
and experiences/develops new TTP.
e
Ev
nt
Sends observations, insights, and TTP to division HQ.
XX
CALL
TOD
XX
CALL
TOD
XX
X
CALL TODs ensure information is rapidly
shared with other division CALL TODs in
theater.
X
CALL forwards information to:
- CTCs
- Follow-on units
- U.S. Army Training and Doctrine
Command proponents
- JIIM organizations
- Unit lessons learned
representatives
Commanders
share with
replacement/follow-on
commanders
Figure 4-2
TOD and the commander
Upon the TOD’s arrival in theater, he conducts an in-brief with the supported unit
commander or chief of staff. At a minimum, the commander or chief of staff can
expect to hear the TOD’s role and his proposed collection plan. CALL highly
welcomes the commander’s input to the collection plan and will adjust it
accordingly. Periodically, the TOD updates the commander regarding the collection
plan’s status.
Collection and Analysis Team
CALL has an on order mission to deploy worldwide to collect lessons and TTP
from both contingency operations and training exercises. Since September 11,
2001, CALL has sent out 50 CAATs, mostly related to operations in Operation
Iraqi Freedom (OIF) and Operation Enduring Freedom (OEF). Subject matter
experts from around the Army comprise a CAAT, which develops issues for
collection approved by the Combined Arms Center (CAC) commander (See Figure
4-3). CAATs follow a very disciplined and developed collection process and
subsequently debrief the CAC commander regarding their findings.
18
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Collection and Analysis Team
(CAAT)
Team
Chief
CTC-based
Leavenworth-based
OPS officer
OPS NCO
CAAT - Real World Focus:
- Operations
- Exercises
Focused Rotations (CTC)
Observer
SME
Observer
SME
Observer
SME
Observer
SME
Observers and team chiefs are subject matter experts in their respective
fields and come primarily from TRADOC proponent schools.
Predeployment:
- Training provided by CALL collection process
- Collection plan development
Post-deployment:
- CALL facilitates initial impression report
- Feedback into CALL lessons learned processes
Intent is to leverage subject matter experts with CALL methodology
to provide rapid detailed assessment and feedback
Figure 4-3
CAAT Collection Process
CAATs execute collection in four distinct phases (See Figure 4-4):
• Phase 1: CALL conducts mission analysis to develop a collection plan;
determine the size and composition of the CAAT; and, subsequently,
hosts a predeployment workshop to train the CAAT members in CALL
collection methods.
• Phase 2: The CAAT deploys to the collection site or to the aerial or
seaport of debarkation to link up with personnel of the host unit.
• Phase 3: The collection plan, collection focus, end state, and intent along
with unit missions, proponent school issues, and operational
considerations drive the collection effort.
• Phase 4: The CAAT reassembles, normally, at CALL Headquarters and
writes an initial impressions report that represents the results of its
collection effort.
Approved for Public Release
Distribution Unlimited
19
CENTER FOR ARMY LESSONS LEARNED
Request for Information from unit
General Officer requests
Department of the Army tasking
Direct Collection Process
Request/Task
for SMEs
Collection
opportunity
(Issues identified)
Process used
for training,
contingency, or
combat
operations.
Predeployment
Workshop
Collection
Operations
Deploy
Assemble and
train CAAT
Collect
observations
Post-deployment
Workshop
Publish
product
Refine data;
write articles;
draft product
Archive
Mission analysis
and planning
Deployment
and unit link-up
Collection
operations
Redeployment and
report development
Figure 4-4
Commander’s responsibility to a visiting CAAT
CAATs normally require the following minimal support from the visited command:
• Administrative and logistical support to include transportation, mess, and
billeting.
• Access to units and leaders conducting operations in the area of
responsibility, including access to staff/command updates, planning
sessions, and briefings.
• A workspace with access to communication links that support e-mail.
Operational Records and Products from the Operational Army
CALL highly encourages units to send copies of its key operational records and
documents generated from operational deployments. CALL proactively collects
copies of many key operational documents from units; however, it is only able to
collect a fraction of what is available. Documents collected are permanently placed
in the CALL archives, which makes them available for future use to the field and
institutional Army. Experience has shown operational products and records are
invaluable tools in helping units prepare for an operational deployment to OIF or
OEF. Operations orders (OPORDs) and associated fragmentary orders (FRAGOs)
alone provide a wealth of operational and intelligence information for a unit
preparing for a similar mission. CALL receives hundreds of requests a year from
Soldiers, Department of Defense (DOD) civilians, and DOD contractors asking
20
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
exactly for this type of information. Units are strongly encouraged to send digital
copies of the following operational documents and records to CALL for archiving:
• OPORDs, operation plans, and associated FRAGOs
• OPORDS and FRAGOs from named operations
• Commander policy letters and memorandums
• Campaign plans
• AARs and lessons learned from an event or operation
• Key operational assessments and updates
• Key intelligence assessments and updates
• OIL
• TTP
Send the above documents to CALL using the same method described above to
send an AAR.
Approved for Public Release
Distribution Unlimited
21
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Appendix A
Additional Records Management Information
Statutory Authority
The Federal Records Act of 1950 as amended contains the statutory authority for
the Army Records Information Management System (ARIMS) program. The
General Services Administration (GSA) and the National Archives and Records
Administration (NARA) share government-wide responsibility for federal
recordkeeping. The GSA portions of the Federal Records Act are implemented in
the Federal Management Regulations, Part 41, Chapter 102, Subchapter G, Code of
Federal Regulations (CFR), and NARA portions are implemented in 36 CFR,
Chapter XII, Subchapter B. These are, in turn, implemented by Army regulations.
Sections 3301-3314, Title 44, United States Code (44 USC 3301-3314), establishes
the legal basis for the disposal of records of the U.S. government. The Director,
U.S. Army Records Management and Declassification Agency (USARMDA)
(AAHS-RDR), 7701 Telegraph Road, Alexandria, VA, 22315-3860, develops
retention and disposal authorizations that meet Army needs and obtains approval
from the archivist of the U.S. Approval by the archivist is legal authority for the
retention and disposal of all Army records.
The Paperwork Reduction Act, 44 USC, Chapter 35, establishes the legal basis for
minimizing the cost of creation, collection, maintenance, use, dissemination, and
disposition of information.
Army policies:
• Army Regulation (AR) 25-1 (Army Information Knowledge Management
and Information Technology), Chapters 2 and 8,
<http://www.apd.army.mil>
• AR 25-400-2 (Army Record Information Management System [ARIMS]),
<http://www.apd.army.mil> and <http://www.arims.army.mil>
• Department of the Army Pamphlet (DA Pam) 25-403 (Guide to
Recordkeeping in the Army), <http://www.apd.army.mil>
• Guidance specific to operational records during a contingency
• Army Knowledge Online (AKO): Recordkeeping guidance and directives
are posted on AKO under the files area. Go to “U.S. Army
Organizations/Army Records Management/Recordkeeping File
Cabinet/Contingency Operation” folder.
Quick Reference Guide
Below is the entire quick reference guide that has been distributed and posted at
various sites. The guide provides a listing of information that units should create
and preserve and instructions for shipping and/or transmitting information to the
proper holding facility. As stated in the main recordkeeping narrative, this may not
always be practical or possible. At a minimum, take records with you to home
station upon redeployment or ship to home station prior to redeployment.
Approved for Public Release
Distribution Unlimited
23
CENTER FOR ARMY LESSONS LEARNED
This guide applies to all Army forces that are deployed or engaged in operational
missions. The guide provides instructions for the creation and preservation of
records in units and parts of units deployed for combat, emergency, and special
operations both singly and as part of a task force. The records specified in this
guide provide important rights and interest information for Soldiers and veterans.
The Army must be able to research the location and activities of units and Soldiers
involved in combat or contingency operations. Destruction or loss of Army records
is a violation of federal law and must not occur.
Commanders of deployed units will designate a point of contact, a records
coordinator (RC), for the monthly collection and transfer of records created in their
units in accordance with processes established by the commander directing the
overall operation. Records shipped by mail, either hardcopy or electronic records
on approved removable media authorized by your local G6/S6, should be
accompanied by a completed Standard Form 135. If this is not possible, a simple
cover sheet can be used (legibly handwritten or typed) giving the unit’s full name
and address, unit identification code, unit point of contact information, name of task
force, name of operation, inclusive dates of the records, and a list of the records in
the shipment. Note: Records sent to the Washington National Records Center
(WNRC) will only be accepted if all transfer procedures are properly followed.
These procedures and all necessary forms can be accessed at
<http://www.archives.gov/frc/toolkit.html>.
This guide applies to all records regardless of media, e.g., paper, computer discs
and tapes, microform, photographic film, e-mail, and other electronic formats.
Electronic records (received or transmitted) will be provided in the format in which
they were saved. Transmit unclassified e-mail to be preserved as a record to
conops@conus.army.mil. Other unclassified records may be attached to an e-mail
and sent to the same address. Put the name of the operation in the subject line.
Classified records may be attached to an e-mail and sent classified e-mail. Please
contact conops@conus.army.mil for the classified e-mail address. Do Not Mix
Classified and Unclassified Records On Electronic Media.
Annex A contains a list of specific records to be created, maintained, and
transferred. Specific record descriptions for each of these file numbers can be found
on the ARIMS Website, <https://www.arims.army.mil>, under the Records
Retention Schedule—Army (RRS-A) tab. The list of file numbers in Annex A is
not all-inclusive. Any records that document operations of the unit will be
preserved per this instruction and AR 25-400-2.
From time to time organizations such as Center for Army Lessons Learned and
military history detachments will visit deployed units to collect copies of records.
Do not give these organizations the record copy of information to be preserved. The
record copy will be handled in accordance with these instructions and AR
25-400-2.
Army records may be destroyed only if capture by a foreign power appears
imminent. Destruction for any other reason is not authorized. If emergency
destruction of records is performed, a list of those records and the inclusive dates of
each will be compiled to the extent possible and sent to U.S. Army Records
Management and Declassification Agency, Records Management Division, ATTN:
AAHS-RDR, 7701 Telegraph Rd, Casey Bldg. Rm. 102, Alexandria, VA,
22315-3860, <https://www.arims.army.mil>.
24
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Do not “over-classify” records. Follow the classification guides in Army Security
Regulations and/or the operation plan (OPLAN) for the operation. Ensure
declassification instructions accompany all classified records including electronic
records prior to transferring them. Mail classified records (double wrapped) by
registered official mail.
Annex A
Functional Area
File #
Description
Send the following records to: U.S. Armed Forces Center for Unit Records
Research, ATTN: AAHS-RDC, Kingman Building, Room 2C08, 7701 Telegraph
Rd., Alexandria, VA, 22315
220-15a1
Daily staff journal and
tactical operations center
log with coordinates of
locations and events
525a1
Command reports, special
reports, maps and
overlays, and incident
reports
525n1
Operation planning files;
OPLANS (including
audio/videotapes of
teleconferences)
Operations
525p1
Operation procedure files;
operations orders
(including
audio/videotapes of
teleconferences)
Office Housekeeping
1hh
Office temporary duty
(TDY) travel (civilian
TDY orders)
50-5a1
Nuclear accident/incident
controls
Operations
Operations
Operations
Nuclear/Chemical
50-6b1
Chemical
accident/incident controls
Safety
385-10f2
Accident/incident case
files (including nuclear,
chemical, and biological
exposure)
Military Police
190-45b2, 3
Military police journals
(blotters)
Weapons/Materiel
Approved for Public Release
Distribution Unlimited
25
CENTER FOR ARMY LESSONS LEARNED
Process and transmit the following records in accordance with the regulations that
prescribe their creation. These records should be shipped to the unit’s home station
records holding area on a monthly basis for processing or the Washington National
Records Center (WNRC), 4205 Suitland Rd, Suitland, MD, 20746-8001. Note:
Records shipped to WNRC will only be accepted if all transfer procedures are
properly followed (see above link).
26
Management
5b1
Agreement
Military Police
190-8a
Individual enemy
prisoner of war
(PW)/detainee files
Military Police
190-8b
Enemy PW/detainee
general information
Military Police
190-8d
Enemy PW/detainee
complaints and
investigations
Military Police
190-8e
Enemy PW/detainee
strength reports
Military Police
190-8f
Enemy PW/detainee
rosters
Military Police
190-8h
Enemy PW/detainee
educational media
Military Police
190-8i1, 2
Enemy PW/detainee
noncontract labor
Military Police
190-8j1, 2
Enemy PW labor
contracts
Military Police
190-8k
Enemy PW camp labor
reports
Military Police
190-8q
PW censorship
Military Police
190-8s
Enemy
counterintelligence (CI)
general information
Military Police
190-8u
Enemy CI complaints
and investigations
Military Police
190-8v
CI strength reports
Military Police
190-8w
Enemy CI rosters
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Military Police
190-8x
Enemy CI property
accounting files
Military Police
190-8y
Enemy CI educational
media
Military Police
190-8z
Enemy CI noncontract
labor
Military Police
190-8aa
Enemy CI camp labor
reports
Military Police
190-9a
Absentee cases
Military Orders
600-8-105a 1
Personnel type orders
Army Information
360-5b 2
News media and releases
Transportation
55-355PERf
Passenger manifests (per
Department of Defense
[DOD] 4500.9-R, Vol. 1)
Transportation
55-355FRTg
Bills of lading (per DOD
4500.9-R, Vol. 2)
Logistics
710 2a
Property book and
supporting documents
Logistics
710 2b
Document registers
Logistics
710-2h1,2,3
Property loss, theft, and
recovery reports
Logistics
710-2t
Unit supply reports
Logistics
735-5r1
Report of survey files
Logistics
735-5s
Report of survey control
register files
Send the following records to: Inspector General, ATTN: SAIG-IR, 2511
Jefferson Davis Hwy, Arlington, VA, 22202-3912
Inspector General Records:
Asst., Insp., Inv.
20-1b
Approved for Public Release
Distribution Unlimited
IG Investigations
27
CENTER FOR ARMY LESSONS LEARNED
Send the following records to: CDR, 902d MI GP, Investigative Records
Repository, ATTN: IAMG-C-IRR, 4552 Pike Road, Fort George G. Meade, MD,
20755-5995:
Intelligence Records:
Intelligence
381-20d
CI collection files
381-20i1,2,3
Foreign personnel and
organization files
Intelligence
381-20n
U.S. PW/missing in
action detainee
intelligence
Intelligence
381c
Intelligence/CI sources
Intelligence
381-47a
CI, special operations
Intelligence
381-100a
Human intelligence
collection
Intelligence
Send the following records to: CDR, U.S. Army Intelligence and Security
Command Records Center, ATTN: IAIM-RP-R, 8825 Beulah St, Fort Belvoir,
VA, 22060-5246:
28
Intelligence
381-3a
Military intelligence
(MI) operational
management files
Intelligence
381-3b1
MI operational
management reports
Intelligence
381-3c 1, 2
MI non-operational
reports
Intelligence
381-3d1
MI mission assignments
Intelligence
381-3f
MI project cases
Intelligence
381-11b
Scientific and technical
intelligence products
Intelligence
381-20b
Captured information
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Medical Records: Units providing medical care will transmit these records in
accordance with medical prescribing directives.
Medical
40
Clinic logs
Medical
40-5d1
Command health reports
40-66a
Outpatient field medical
file (including DD 2766;
DD 1380; standard forms
(SFs) 516, 558, and 600;
and other medical
reports)
Medical
40-66ddd1,2
Inpatient, fetal
monitoring strips, and
extended ambulatory
records for fixed medical
facilities
Medical
40-66i
North Atlantic Treaty
Organization inpatient
records
Medical
40-905e1,2
Military animal records
Medical
Visual information records (still and motion) will be sent to director, U.S. Army
Visual Information Center, ATTN: JDHQS-AV-E-L, Room 1A256, 3001 Army
Pentagon, Washington, DC, 20310-3001 for processing into the records center.
Personnel Records: Process and transmit personnel records in accordance with
personnel prescribing directives.
DA Pam 25-403, Guide to Recordkeeping in the Army, Chapter 12,
Contingency Operation Record Collection
This excerpt from DA Pam 25-403 provides guidance and procedures for setting up
a successful collection process for operational records.
Background
Recordkeeping requirements during contingency operations are governed by the
same laws and regulations as recordkeeping during peacetime or while in garrison.
However, the nature of a contingency operation makes good recordkeeping even
more critical. Without properly documenting contingency operations, the Army as
an institution risks losing important portions of its history; can lose the ability to
formulate lessons learned; and, most importantly, can fail to protect the rights and
interests of the individual Soldiers and civilians deployed.
Missing records during Operation Desert Storm resulted in the Army spending
millions of dollars for record reconstruction. This record reconstruction was to try
Approved for Public Release
Distribution Unlimited
29
CENTER FOR ARMY LESSONS LEARNED
and pinpoint unit/individual locations during specific times during the conflict. The
information was used to substantiate claims for and to determine the cause of Gulf
War Syndrome suffered by many deployed Soldiers.
Explanation of responsibilities
AR 25-1, paragraph 2-12i states the Deputy Chief of Staff, G-3, will “ensure that
support is included in Army operational planning documents for the collection and
transfer of records created by deployed units in contingency operations per AR
25-400-2.”
AR 25-1, paragraph 2-24g states commanders of the Army component combatant
commands will “integrate records management support into operational plans for
the collection and transfer of records created by deployed units in contingency
operations per AR 25-400-2.”
AR 25-400-2, paragraph 1-4f states commanders of Army components operating
under a joint command will “ensure, through a designated contact, that records are
created and preserved throughout the Army component in accordance with the
records procedures in paragraph 1-7f. The designated contact will establish the
processes for the collection and transfer of unit records.”
AR 25-400-2, paragraph 1-7 f states “records created by deployed units in CONOPs
are collected monthly and sent to designated transfer locations as directed by a
pre-positioned message from the Pentagon Army Operations Center (AOC).
Deployed units will be provided copies of the Quick Reference guide outlining
requirements for specific and minimum records creation, preservation, collection,
and transfer.”
A reminder of these responsibilities is dispatched via message from the AOC at the
beginning of a contingency operation.
Collection guidance
Procedures and processes for collecting records during a contingency operation are
the combatant commander’s responsibility and generally left to his direction.
However for guidance purposes, the following procedures have been extracted from
the successful collection processes used by U.S. Army, Europe (USAREUR) for
records created during the operations in Bosnia and Kosovo. In that area of
responsibility (AOR), the combatant commanders realized the importance of
documenting operations. They supported and directed the effort through all staff
elements and through the ranks, down to the unit level. For the purposes of DA Pam
25-403, the USAREUR guidance has been modified to provide recommended
procedures for all contingency operations records collection and preservation. To
ensure records from the AOR are collected and properly prepared for transfer to
continental U.S. facilities, resources should be provided to create a records
holding/staging area within the AOR. This area should be staffed and equipped to
process both electronic and hardcopy records received from units down range.
Commanders of units down to separate company level that are deployed in
contingency operations will manage and supervise operational recordkeeping
systems in their commands.
30
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
These commanders will:
• Develop supporting plans for maintaining and transferring operational
records according to DA Pam 25-403.
• Appoint operational record collectors (RCs) to carry out the contingency
operation recordkeeping requirements.
• Maintain a daily staff journal or duty officer’s log (DA Form 1594)
during contingency operations according to AR 220-15.
• Ensure that operational records are transferred each month according to
paragraph d(5) below and the instructions provided by this DA Pam.
Commanders will also ensure that operational records of subordinate
activities assigned or attached to their commands during the operation are
included in the unit’s monthly submissions.
• Ensure remaining records are transferred after the contingency operations
mission is completed.
• Ensure that when different units rotate in and out of the same area of the
operation, the outgoing unit thoroughly briefs the incoming unit on its
records collection and transfer processes before the transfer of authority:
º The requirement applies to all forms of unit-generated records,
whether produced on paper or in electronic format (e-mail,
diskette, posted on Websites, compact disc). The most common
unit-generated operational records include commanders’
assessments, daily staff journals, FRAGOs, intelligence reports,
OPLANs, OPORDs, personnel and logistics reports, serious
incident reports, situation reports, spot reports, and reports
generated to describe the occurrence of a particular event. Medical
records will be collected and preserved through these procedures
only if the situation does not allow for their return through
existing procedures for turning in medical records.
º Table 12-1 (access at <http://www.apd.army.mil>) lists some of
the most common types of operational records. At Appendix C
(access at <http://www.apd.army.mil>) is the Quick Reference
Guide to Documenting Operations for Deployed Units of the
Army. The guide provides additional records and specific
guidance on where to send these records.
Notes:
1. This table does not list all files that units should maintain. Units should also
preserve files not listed in this table that document unit activities.
Approved for Public Release
Distribution Unlimited
31
CENTER FOR ARMY LESSONS LEARNED
2. Prescribing publications:
• AR 11-9 (The Army Radiation Safety Program)
• AR 25-1 (Army Knowledge Management and Information Technology
Management)
• AR 25-400-2 (Army Record Information Management System)
• AR 40-5 (Preventive Medicine)
• AR 200-1 (Environmental Protection and Enhancement)
• AR 220-15 (Journals and Journal Files)
• AR 360-1 (The Army Public Affairs Program)
• AR 385-10 (The Army Safety Program)
• AR 525-1 (The Department of the Army Command and Control System)
• AR 600-8 (Military Personnel Management)
Procedures:
• General:
º DA Pam 25-403 provides guidance and procedures for collecting,
preparing, transferring, and preserving operational records. To
avoid loss or destruction of these documents, operational records
will be transferred each month.
º Designated RCs for each unit are responsible for collecting,
preparing, and transferring records. Unit RCs will transfer records
each month. The closing date for records preparation is the last
calendar day of the month. Records should be transferred within
ten business days after the closing date.
º Submitting records electronically is encouraged. Most records a
unit creates are in electronic format and can be transferred for
storage to the USARMDA office in the ARIMS electronic
archive. Units can store the records on approved removable media
and mail them to USARMDA, or they can forward them to
USARMDA as attachments and zip-file attachments to e-mail
messages. Mailing instructions and e-mail addresses are provided
in subparagraph 12-3 d(5), below.
• Identifying records. Operational records are documents that record the
location and activities of units and Soldiers involved in contingency
operations. AR 220-15 requires that DA Form 1594, (Daily Staff Journal)
or (Duty Officer’s Log), be maintained when units are deployed to
support a contingency operations mission. DA Form 1594 may be
provided in electronic or paper format. Other unit-generated records in
32
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
electronic or paper format will be included with the unit’s monthly
submission.
• Collecting records:
º Operational RCs receive records from subordinate activities and
prepare them for transfer to designated repositories.
º Original records are required for records in paper format. The unit
should keep a copy of every record required for future operations.
Units will not give information-gathering activities, such as
history and lessons learned detachments, original record copies. If
appropriate, these activities should be provided a copy.
• Preparing records:
º Electronic records transferred by approved removable media
authorized by your local G6/S6 should be packed in small boxes
or envelopes according to official mail instructions.
º Paper records should be packed in official record containers
(national stock number 8115-00-117-8249). If official record
containers are not readily available, units may use a box or
envelope.
º Unit RCs will document shipments using SF 135 or DA Form
3964 (For Classified Shipments) as appropriate. The originator of
the records will keep one copy of the shipping document and put
one copy in the record container. The RCs are responsible for
completing the SF 135 and forwarding it with the records. The SF
135 will be completed and forwarded according to AR 25-400-2
and the following instructions. SF 135s are available as fillable
forms in both .pdf and .doc (MS Word) formats on the NARA
Website at <ttp://www.archives.gov/frc/forms/sf-135-intro.html>.
If it is impossible to create an SF 135, a plain sheet of paper can
be used (legibly handwritten or typed). However, the same
information required on the SF 135 should be placed on the plain
sheet of paper:
* Item 1. Enter the address of the designated collection
point.
* Item 2. Enter the name of the organization’s RC.
* Item 3. Enter the name and telephone number of the RC.
* Item 4. Leave blank.
* Item 5. Enter the full unit address and include the unit
identification code, name of the task force, and the
operation.
Approved for Public Release
Distribution Unlimited
33
CENTER FOR ARMY LESSONS LEARNED
º Electronic records transferred on diskettes, zip-disks, CDs, and
other formats for transferring electronic records will be labeled
with the unit name, type of records, month and year, and software
application (for example: 1/99 Inf Bn, Daily SITREPs [situation
reports] Feb 03, MS Word 00). The corresponding SF 135 should
also describe the software and the version.
º Records will be separated and shipped according to subparagraph
(transferring record) below.
• Transferring records. See the Quick Reference Guide at Appendix C for
address information on each specific collection point. There are a number
of designated collection points for specific types of records:
º Electronic records may be transferred as e-mail attachments to the
following e-mail addresses, as applicable:
* Unclassified records: <conops@conus.army.mil>.
* Classified records: Please contact
<conops@conus.army.mil> for the classified e-mail
address.
º Hardcopy records (paper, maps, overlays, microfiche, microfilm,
and so on) and electronic records on authorized electronic media
may be mailed through the Military Postal System.
º Classified records, hardcopy or electronic, that are to be shipped
will be sent by registered DOD official mail according to the
instructions for handling classified material in AR 380-5.
º Many organizations communicate and pass record information
through Web information centers (WICs). In the WIC
environment, very few paper record or records on approved
removable media exist:
* Record information posted on a WIC must be captured and
preserved routinely; however, the collection process must
not place an additional burden on the owning unit. To
prevent this burden, Web masters should incorporate
collection and preservation procedures to these Websites
as they are built. For instance, copies of SITREPS,
OPORDS, FRAGOs, and so on posted on these sites
should be automatically saved to a separate
drive/directory. The records on these drives/directories
would then be transmitted (and copied to approved
removable media) to the appropriate collection point for
preservation on a regularly scheduled (monthly) basis.
* Organization information management officers at the
corps-/division-/brigade-/battalion-level and area support
group directors of information management will
coordinate directly with
34
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
corps-/division-/brigade-/battalion-level operations and
plans and intelligence officers to establish the procedures
for the monthly collection of record information.
Approved for Public Release
Distribution Unlimited
35
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Appendix B
After-Action Review Template
1. Report cover page:
Classification
Preparing Headquarters or Organization
Location of Report Preparation
Date of Preparation
Report Title
(Example: Final Report of 3d ACR Operations in Operation Iraqi Freedom [OIF])
Period Covered: (Date to Date)
2. Preface or foreword signed by commander.
3. Table of contents: This template serves as an excellent guide to what a
commander should cover in his unit’s after-action review (AAR). The AAR
provides tactics, techniques, and procedures (TTP) and lessons learned for
dissemination to the Army. CALL archives the AAR and through its Website
makes it available to units preparing for combat operations in OIF or Operation
Enduring Freedom. Start the AAR with the warfighting functions and other topic
areas of interest using the issue, discussion, and recommendation format. Some
topics frequently highlighted in previous AARs include the following:
• Influence and engagement operations TTP.
• Reconnaissance and surveillance planning and execution.
• Air-ground operations.
• Contracting.
• Commander’s Emergency Response Program.
• Patrol base and combat outpost TTP.
• Civil affairs.
• Detainee operations.
• Counter improvised explosive device operations.
• Convoy and route security operations.
• Special forces’ integration.
• Counterinsurgency planning and execution.
Approved for Public Release
Distribution Unlimited
37
CENTER FOR ARMY LESSONS LEARNED
• Aviation operations.
• Close air support.
• Governance and economics.
4. Executive summary and chronology of significant events:
• Include specific dates of mission notification; period of predeployment
training; advanced echelon and main body deployment; reception,
staging, integration, and onward movement (RSOI); deployed operations
in theater; and dates of any major named unit operations.
• Include numbers of Soldiers deployed and deployment modification table
of organization and equipment.
• Summarize casualty information for period of deployment.
• Briefly overview highlights of predeployment, deployment, and
redeployment.
• Include any unit highlights deemed important.
5. Task organization. Include any significant changes/dates as appropriate:
• Wiring diagram including attached units/elements and named task forces
• Relationship to higher headquarters and list of subordinate elements
6. Predeployment phase (with dates):
• Predeployment issues, discussions, and recommendations
• Unit’s training focus
• What should have been accomplished during predeployment that was not
accomplished?
• What was helpful to know when planning the deployment? What did you
wish that you had?
• Discuss staff estimates; logistics; or personnel shortages, if appropriate
• Discuss planning for rear detachment operations during deployment, if
appropriate
7. RSOI (with dates):
• RSOI issues, discussions, and recommendations
• Assessment of training effectiveness
• Orders and fragmentary orders (FRAGOs) index
38
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
8. Operations phase (with dates):
• Overview
• Summary of tactical and mission operations
• Address by warfighting functions using issue, discussion, and
recommendation
• Address effects management (nonlethal weapons, information operations,
public affair office, etc.)
• Unit participation in named operations
• Discuss issues deemed most critical by the commander
• Other issues, discussion, and recommendations
• What was the single greatest success and the single greatest shortcoming
or challenge from the unit’s perspective?
• Orders and FRAGOs index
9. Relief in place/transfer of authority (with dates):
• Discuss planning and overlap and any issues, discussions, lessons,
recommendations
• Orders and FRAGOs index
• List or discuss key discussion topics between outgoing and incoming
organizations
Include (either here or as an Appendix) any standing operating procedures, TTP, or
checklists if they were useful.
10. Redeployment activities:
• Overview dates of personnel and equipment redeployment
• Highlight planning guidance either developed or received from higher
headquarters
• Discuss redeployment issues, observations, lessons, and
recommendations
• Cover the how and what; e.g., How long did redeployment take? What
was salvaged or destroyed (battle losses and personnel losses—killed in
action, wounded in action, missing in action, and Soldiers classified as
duty status whereabouts unknown)during the unit’s time on station?
Approved for Public Release
Distribution Unlimited
39
CENTER FOR ARMY LESSONS LEARNED
• Orders and FRAGOs index
• Include (either here or as an Appendix) any list of instructions, TTP, or
checklists developed
11. Post-deployment activities:
• Discuss redeployment issues, observations, lessons, and planning.
• Discuss combat stress planning and reintegration activities.
• Discuss plans and priorities used in reconstituting and resetting the unit.
12. Provide an index/listing of all mid-tour and final unit AAR products, significant
command briefings, or reports published separately:
• Include classification, titles, and distribution/disposition of such reports.
• Include a staff point of contact or section for follow-up coordination.
13. Distribution (of this report).
14. Appendices (as appropriate):
• Each named operation or major event
• Supporting details, observations, issues, or recommendations to any area
mentioned briefly in base report
• Particularly useful TTP or unit products developed
• Predeployment site survey information
• Rear detachment operations
40
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Appendix C
Useful References
Center of Military History (CMH):
• Army Regulation (AR) 870-5 (Military History: Responsibilities,
Policies, and Procedures), 21 Sep 07,
<http://www.army.mil/usapa/epubs/870_Series_Collection_1.html>
• AR 870-20 (Army Museums, Historical Artifacts, and Art), 11 Jan 99,
<http://www.army.mil/usapa/epubs/870_Series_Collection_1.html>
• Field Manual 1-20, Military History, Feb 03,
<http://www.army.mil/usapa/doctrine/12_Series_Collection_1.html>
• CMH, Organizational History, 1999,
<http://www.history.army.mil/html/forcestruc/ohpam.html>
• Stephen, J. Lofgren, CMH, U.S. Army Guide to Oral History, 2006,
<http://www.history.army.mil/books/oral.htm>
Records Management and Declassification Agency (RMDA):
• AR 25-400-2 (The Army Records Information Management System
[ARIMS]), 2 Oct 07,
<http://www.army.mil/usapa/epubs/pdf/r25_400_2.pdf>
• Department of the Army Pamphlet 25-403 (Guide to Recordkeeping in
the Army), 11 Aug 08,
<http://www.army.mil/usapa/epubs/25_Series_Collection_1.html>
Center for Army Lessons Learned (CALL):
• AR 11-33 (Army Lessons Learned Program [ALLP]), 17 Oct 06,
<http://www.army.mil/usapa/epubs/11_series_collection_1.html>
• CALL Handbook 06-5, Center for Army Lessons Learned (CALL)
Services, Feb 06, <https://call2.army.mil/index.asp>
Approved for Public Release
Distribution Unlimited
41
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
PROVIDE US YOUR INPUT
To help you access information quickly and efficiently, Center for Army Lessons Learned
(CALL) posts all publications, along with numerous other useful products, on the CALL
Web site. The CALL Web site is restricted to U.S. government and allied personnel.
PROVIDE FEEDBACK OR REQUEST INFORMATION
<http://call.army.mil>
If you have any comments, suggestions, or requests for information (RFIs), use the
following links on the CALL home page: “Request for Information or a CALL Product” or
“Give Us Your Feedback.”
PROVIDE TACTICS, TECHNIQUES, AND PROCEDURES (TTP) OR
SUBMIT AN AFTER-ACTION REVIEW (AAR)
If your unit has identified lessons learned or TTP or would like to submit an AAR, please
contact CALL using the following information:
Telephone: DSN 552-9569/9533; Commercial 913-684-9569/9533
Fax: DSN 552-4387; Commercial 913-684-4387
NIPR Email address: call.rfimanager@conus.army.mil
Mailing Address: Center for Army Lessons Learned, ATTN: OCC, 10 Meade Ave.,
Bldg 50, Fort Leavenworth, KS 66027-1350.
TO REQUEST COPIES OF THIS PUBLICATION
If you would like copies of this publication, please submit your request at:
<http://call.army.mil>. Use the “Request for Information or a CALL Product” link. Please
fill in all the information, including your unit name and official military address. Please
include building number and street for military posts.
Approved for Public Release
Distribution Unlimited
43
CENTER FOR ARMY LESSONS LEARNED
PRODUCTS AVAILABLE "ONLINE"
CENTER FOR ARMY LESSONS LEARNED (CALL)
Access and download information from CALL's Web site. CALL also offers Web-based
access to the CALL Archives. The CALL home page address is:
<http://call.army.mil>
CALL produces the following publications on a variety of subjects:
•
•
•
•
•
•
Combat Training Center Bulletins, Newsletters, and Trends
Special Editions
News From the Front
Training Techniques
Handbooks
Initial Impressions Reports
You may request these publications by using the “Request for Information or a CALL
Product” link on the CALL home page.
COMBINED ARMS CENTER (CAC)
Additional Publications and Resources
The CAC home page address is:
<http://www.leavenworth.army.mil>
Battle Command Knowledge System (BCKS)
BCKS supports the online generation, application, management, and exploitation of Army
knowledge to foster collaboration among Soldiers and units in order to share expertise and
experience, facilitate leader development and intuitive decision making, and support the
development of organizations and teams. Find BCKS at
<http://usacac.army.mil/CAC/bcks/index.asp>.
Center for Army Leadership (CAL)
CAL plans and programs leadership instruction, doctrine, and research. CAL integrates and
synchronizes the Professional Military Education Systems and Civilian Education System.
Find CAL products at <http://usacac.army.mil/CAC/CAL/index.asp>.
Combat Studies Institute (CSI)
CSI is a military history “think tank” that produces timely and relevant military history and
contemporary operational history. Find CSI products at
<http://usacac.army.mil/CAC/csi/RandP/CSIpubs.asp>.
44
Approved for Public Release
Distribution Unlimited
OPERATIONAL RECORDS AND DATA COLLECTION HANDBOOK
Combined Arms Center-Training: The Road to Deployment
This site provides brigade combat teams, divisions, and support brigades the latest road to
deployment information. This site also includes U.S. Forces Command’s latest training
guidance and most current Battle Command Training Program Counterinsurgency
Seminars.
Combined Arms Doctrine Directorate (CADD)
CADD develops, writes, and updates Army doctrine at the corps and division level. Find
the doctrinal publications at either the Army Publishing Directorate (APD)
<http://www.usapa.army.mil> or the Reimer Digital Library <http://www.adtdl.army.mil>.
Foreign Military Studies Office (FMSO)
FMSO is a research and analysis center on Fort Leavenworth under the TRADOC G-2.
FMSO manages and conducts analytical programs focused on emerging and asymmetric
threats, regional military and security developments, and other issues that define evolving
operational environments around the world. Find FMSO products at
<http://fmso.leavenworth.army.mil/recent.htm> or
<http://fmso.leavenworth.army.mil/products.htm>.
Military Review (MR)
MR is a refereed journal that provides a forum for original thought and debate on the art
and science of land warfare and other issues of current interest to the U.S. Army and the
Department of Defense. Find MR at <http://usacac.leavenworth.army.mil/CAC/milreview>.
TRADOC Intelligence Support Activity (TRISA)
TRISA is a field agency of the TRADOC G2 and a tenant organization on Fort Leavenworth.
TRISA is responsible for the development of intelligence products to support the
policy-making, training, combat development, models, and simulations arenas. Find TRISA
Threats at <https://dcsint-threats.leavenworth.army.mil/default.aspx>
(requires AKO password and ID).
United States Army Information Operations Proponent (USAIOP)
USAIOP is responsible for developing and documenting all IO requirements for doctrine,
organization, training, materiel, leadership and education, personnel, and facilities;
managing the eight personnel lifecycles for officers in the IO functional area; and
coordinating and teaching the qualification course for information operations officers. Find
USAIOP at <http://usacac.army.mil/CAC/usaiop.asp>.
U.S. Army and Marine Corps Counterinsurgency (COIN) Center
The U.S. Army and Marine Corps COIN Center acts as an advocate and integrator for
COIN programs throughout the combined, joint, and interagency arena. Find the U.S.
Army/U.S. Marine Corps COIN Center at: <http://usacac.army.mil/cac2/coin/index.asp>.
Support CAC in the exchange of information by telling us about your
successes so they may be shared and become Army successes.
Approved for Public Release
Distribution Unlimited
45
Center for Army Lessons Learned (CALL)
10 Meade Avenue, Building 50
Fort Leavenworth, KS 66027-1350
Combined Arms Center (CAC) l Ft. Leavenworth, KS
http://call.army.mil
Approved for Public Release
Distribution Unlimited